REQUEST FOR COMMENT
Short Interest Reporting
Comment Period Expires November 29, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members and other interested parties on proposed changes to
Rule 3360, Short Interest Reporting.
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 51 securities voluntarily will join the NASDAQ National Market System on Tuesday, December 20. This will bring the total number of issues trading on NMS to 684. These 51 issues meet the voluntary designation criteria set by the SEC, which include an average monthly trading volume of 100,000 shares and a minimum bid
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 49 issues will voluntarily join the NASDAQ National Market System on Tuesday, November 22, bringing the total number of NMS securities to 635. These 49 issues meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 49
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
Effective February 5, 2009, firms may supervise "market letters" as correspondence rather than sales literature, unless the letters are distributed to 25 or more existing retail customers within any 30-calendar-day period and make a financial or investment recommendation or otherwise promote the firm's product or service.
(a) All partnership articles and all amendments thereto shall be submitted and be acceptable to the Exchange prior to becoming effective.
(b) The charter or certificate of incorporation and all amendments thereto, the by-laws and all amendments thereto, forms of stock certificates and any and all agreements or other documents and amendments thereto relating to the business or affairs of the
Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
The types of investments that could potentially be impacted by SEC Proposed Rule #S7-24-15 is lengthy and diverse, including Leveraged and Inverse Funds, and can legitimately be incorporated as part of a comprehensive investment strategy. These are publicly traded instruments and I am an experienced, educated, and informed investor. I should NOT need to jump through additional hoops to be "
SR-FINRA-2009-007 - Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282, and Delete Incorporated NYSE Rule 177 to Conform with Amendments by the NYSE to its Versions of Rules 12, 177 and 282
